There shall be a uniform record keeping system in the Circuit Court that shall be mandatory for the form, style, and maintenance of records dealing with civil, criminal, juvenile, probate, mental health, family court, traffic and municipal cases.

(Adopted eff. Jan. 1, 2004)

4.02 OPTIONAL METHODS OF RECORD KEEPING

1) Records required by this COR 4 may be maintained in paper format or in one of the following approved media:

a) Microfilm or microfiche;b) Electronic data processing; orc) Other means as approved by this Court.

2) All courts shall provide and maintain equipment necessary for public access to court records and information. The equipment shall be accessible for use by the public and shall present the information in legible form.

3) Courts shall adhere to the requirements of Court Operating Rules 1 and 8 when maintaining records in other than paper format.

4) If a court maintains the record in multiple formats, it shall designate which of the formats is the official court record as defined in COR 4.03.

(Adopted eff. Jan. 1, 2004)

4.03 OFFICIAL COURT RECORD – COMPOSITION

1) The official court record in all cases, except those involving the summary administration of an estate, shall consist of:

a) All documents filed from initiation to final termination of the case; andb) Court docket sheet or backer sheet. No docket sheet or backer sheet is required for cases involving the summary administration of an estate.

2) A backer sheet may be used for cases initiated by uniform citation, including traffic, municipal, conservation, and watercraft cases.

a) If used for non-traffic ordinance cases or for the more serious traffic offenses, e.g., DWI, BAC, driving while revoked, driving while suspended, leaving the scene of an accident, or fleeing or attempting to elude an officer, the backer sheet must include the same elements required for a court docket sheet. (See COR 4.08.)b) If used for watercraft, conservation or other traffic cases, the backer sheet should contain the following information, if applicable, and if not available from the court’s copy of the citation or from an automated system:

1) Case number;2) Defendant’s name;3) Offense as filed and charge at disposition;4) Date filed;5) Bond type and amount;6) Whether license is being held in lieu of cash;7) Defense attorney;8) Court date(s);9) Date notice sent for failure to appear or pay;10) Date nonresident violator compact notice issued to defendant;11) Date suspension notice/ nonresident violator compact notice/ In Lieu of Bond Form sent to Department of Revenue;12) Date compliance notice sent to Department of Revenue;13) Date(s) warrant(s) issued/ returned/ withdrawn;14) Judge;15) Date disposed and manner of disposition;16) Sentence;17) Date record of conviction/ abstract of court record sent to Missouri State Highway Patrol;18) Date application for trial de novo/ request for jury trial filed; and19) Date probation violation ordered.

A uniform file numbering system shall be used for all cases and documents required to be indexed by the courts. For purposes of this COR 4, cases shall include but not be limited to: case types as approved by the State Judicial Records Committee; administrative support orders; transcript judgments; employment security assessments; mechanics’ and materialmen’s liens; wills deposited during testator’s lifetime; search warrants; and other records requiring an identifying number for indexing and management purposes.

4.04.1 Courts Using an Automated Case Management System Approved for Statewide Use by the State Judicial Records Committee

1) Converted Construct

Numbers assigned prior to implementation of the automated case management system and entered into the automated system shall be converted in substantially the following format:

c) 2-digit physical filing location number as assigned by the Office of State Courts Administrator;d) 2-digit numeric code representing the year that the case was filed, e.g., “02” for cases filed in 2002; ande) Same consecutive number assigned to the case when filed.

2) Interim Construct

a) Numbers assigned after implementation of the automated case management system and before January 1, 2004, shall be in the following format for all except cases initiated by uniform citation:

(1) 2-digit numeric code representing the year that the case was filed, e.g. “02” for cases filed in 2002;(2) 2-digit alphabetic code for the case type:

b) The uniform citation number, as assigned by the Missouri State Highway Patrol, shall serve as the file number for less serious traffic cases and for watercraft and conservation cases initiated by uniform citation.

3) New Construct

a) Numbers assigned after implementation of the automated case management system shall be in the following format for all except cases initiated by uniform citation:

1) 2-digit year (numeric)2) 2-digit location code (alpha, alpha-numeric, or numeric) – circuit number can be used in a single county, consolidated court3) Hyphen4) 2-digit case category (alpha)5) 5-digit sequential number, starting with "00001" for the first case filed within case category and location (numbering starts over at the beginning of each year)6) Hyphen7) 2-digit sub-case code

b) The following comprise the minimum list of 2 digit case categories used in the circuit:

c) The court en banc may chose to use optional additional case categories for case number assignment. The following comprise the optional case categories that may be used in the case number. The Court en Banc may chose any of the following options to further define the case number:

d) The case numbering system will be consistent for all divisions within the circuit. The list of case categories for the case number will be selected by the court en banc when the circuit implements JIS and may be changed effective January 1st of any subsequent year. For courts on JIS on the effective date of this COR 4, the court en banc will decide if the new case number format is initiated January 1, 2004 or January 1, 2005.

4) The uniform citation number, as assigned by the Missouri State Highway Patrol, shall serve as the file number for less serious traffic cases and for watercraft and conservation cases initiated by uniform citation.

4.04.2 Courts Not Using an Automated Case Management System Approved by the State Judicial Records Committee

1) A uniform case numbering system, comprised of the following, shall be used:

a) 2-digit alphabetic prefix for the case category:

Case CategoryPrefixCriminal CRCivil CVJuvenile JUMunicipal MU

b) 2-digit physical filing location number as assigned by the Office of State Courts Administrator;c) 2-digit numeric code representing the year that the case was filed, e.g. “02” for cases filed in 2002;d) Sequential case number

(1) Each case shall be numbered consecutively within each filing location and case category, except traffic cases shall be numbered separately from other criminal cases.(2) The first case filed in each category at the beginning of the calendar year shall be assigned the number “1”.

e) Alphabetic suffix for the specific case type within a case category

(1) The case number, including the suffix, shall not change from time of filing to disposition, although the suffix may be appended with an “X” as provided below.(2) Within the criminal category, the following suffixes shall be used:

(4) Courts may further delineate probate matters by using the suffix of “MH” for mental health proceedings, which are confidential.(5) Within the juvenile category, the following suffixes shall be used:

Case TypeSuffixJuvenile JUAdoption ATransfer of Custody TC

(6) Within the municipal category, the following suffixes shall be used:

Case TypeSuffixTraffic MTOther Ordinance MO

(7) The suffix for cases that are bound over, transferred to the circuit division on application for trial de novo, or certified for handling under full circuit court procedures shall be appended with an “X”.(8) The suffix for cases that are referred to a treatment court, e.g., drug court or mental health court, shall be appended with a “TC”.

2) Courts may use the uniform citation number, as assigned by the Missouri State Highway Patrol, as the file number for cases initiated by uniform citation.

3) Cases originating in a municipal court shall be assigned a new case number when transferred to an associate or circuit division.

4.04.3 Courts Using an Automated Case Management System Approved for Local Use by the State Judicial Records Committee

1) Courts shall assign a unique identifying number to each case at the time of filing.

2) If different than the format in COR 4.04.2, the numbering system shall be approved by the State Judicial Records Committee.

3) Courts may use the uniform citation number, as assigned by the Missouri State Highway Patrol, as the file number for cases initiated by uniform citation.

1) A separate file number shall be assigned to each defendant named in a criminal complaint or information and the file numbers shall be related in the automated case management system for scheduling and other processing.

2) A separate file number shall be assigned to each child named in a petition filed pursuant to section 211.091, RSMo and the file numbers shall be related in the automated case management system for scheduling and other processing.

3) Dissolutions and paternity actions shall be filed separately. A separate case number shall be assigned for each dissolution and each paternity action filed and shall be related in the automated case management system for scheduling and other processing.

2) The filing information sheet shall reflect the case type and contain the following information for each party occupying the position of or on the same side as the plaintiff or defendant, each decedent, or each ward/protectee in the case:

a) Party type;

b) Party name;

c) Date of birth if the party is a person; and

d) Social security number if the party is a person and such information is reasonably available.

3) Responsibility for completing these sheets is with the parties, who shall make reasonable effort to provide full information.

5) The filing information sheets are confidential records. For domestic relations cases, the filing information sheet shall be placed under seal and filed with the domestic relations case file. For all other probate, civil and criminal cases, the filing information sheet shall be filed in case number sequence and stored separately from the case file or destroyed upon entry of the information. If a court is scanning court documents, the confidential filing may be scanned and maintained at the appropriate security level and the original may be destroyed.

6) Filing information sheets shall not be required when the filing is made electronically, provided required information on party type, party name, date of birth and social security number is contained in the electronic submission.

(Adopted eff. Jan. 1, 2004. Amended May 20, 2013, eff. Jan. 1, 2014)

4.07.2 All Other Courts

Courts may require a filing information sheet for each civil, domestic relations, probate, and criminal case filed. If required and if they contain social security numbers, these sheets shall be confidential records, filed in case number sequence, and stored separately from the case file or destroyed when no longer needed.

4.08.1 Courts Using an Automated Case Management System Approved by the State Judicial Records Committee

1) Courts shall maintain the following information to generate a court docket sheet as needed:

a) County where the action was filed, or if the court sits in more than one location in the same county, the county and city where filed;b) Case type;c) Case number;d) Names of the respective parties;e) Names of the respective attorneys of record;f) Date and type of each document filed; andg) Judicial action taken in the case, including judgments and orders.

2) Clerks shall be responsible only for docket entries into the automated system. They shall not be responsible for entries on a manual docket sheet.

4.08.2 Courts Not Using an Automated Case Management System Approved by the State Judicial Records Committee

1) A court docket sheet or backer sheet shall be prepared for all case types except those involving the summary administration of an estate. See COR 4.03.

2) The court docket sheet shall include the same elements as set forth in COR 4.08.1 (1) for courts using an approved automated system.

3) Courts shall maintain a security copy of the docket sheet for all cases except small claims, felony preliminary, and chapter 517 cases, and misdemeanor cases filed before associate circuit judges. Upon certification of such cases to the presiding judge, upon bind over of felony preliminaries for arraignment, or upon application for trial de novo at the circuit level, the clerk shall comply with the rule to maintain a security copy of the docket sheet.

4) Security copies of the court docket sheet shall be filed in case number sequence and stored separately from the case file. Upon disposition of the case, the clerk shall certify that the security copy is a true and accurate copy of the court docket sheet.

4.09 INDEX TO CASES

4.09.1 Courts Using an Automated Case Management System Approved by the State Judicial Records Committee

1) Courts shall have the capability to access case records through an automated search of the database by:

a) Name of party;b) Case number; orc) Date filed.

2) Confidential case records shall not be accessible through an automated search of the database by persons who are not authorized to view such records.

3) Courts shall not maintain manual indexes for cases disposed of after implementation of the automated system.

4.09.2 Courts NotUsing an Automated Case Management System Approved by the State Judicial Records Committee

1) Separate index cards, bearing the full name of the party, shall be kept in alphabetical order for:

a) Each decedent for whom an estate has been opened;b) Each ward/ protectee;c) Each juvenile who is the subject of a juvenile case filing;d) Each individual who is the subject of an adoption petition;e) Each party occupying the position of or on the same side as the civil plaintiff or defendant; and f) Each defendant in criminal, traffic, and municipal cases.

Note: A separate index card naming the State or municipality as plaintiff in a criminal, traffic, or municipal case shall not be prepared.

2) Both the plaintiff index and the defendant index in civil cases shall contain:

a) Full name of each indexed party;b) Case number;c) Date filed; and d) Cross reference to the first named defendant or plaintiff.

a) Full name of the decedent, ward/protectee, juvenile, or subject of adoption;b) Case number; andc) Date filed.

5) Indexes for confidential cases shall be stored separately and shall be accessible only by authorized personnel.

(Adopted eff. Jan. 1, 2004.)

4.10 INDEX TO WILLS DEPOSITED DURING TESTATOR’S LIFETIME

Courts shall maintain or have the capability to generate an alphabetic list by name of wills deposited during a testator’s lifetime.

(Adopted eff. Jan. 1, 2004.)

4.11 CALENDAR SYSTEM

Courts shall maintain a calendar system to facilitate compliance with time requirements established by statute or rule and with the case processing time standards established by Court Operating Rule 17.

(Adopted eff. Jan. 1, 2004.)

4.12 JUDGMENTS

1) Judgments in civil cases must be signed by the judge or supported by a document with the judge’s signature. A docket sheet entry denominated as a judgment or decree and signed by a judge may serve as a judgment.

2) A written record of the judgment is required in civil and criminal cases.

(Adopted eff. Jan. 1, 2004.)

4.13 JUDGMENT INDEX: CIVIL

4.13.1 Courts Using an Automated Case Management or Indexing System Approved by the State Judicial Records Committee

1) Courts shall have the capability to access judgment information through an automated search of the database by:

a) Party against whom judgment was entered;b) Case number; orc) Date of judgment.

2) Results of the search shall include:

a) Party against whom judgment was entered;b) Case number;c) Date judgment was entered;d) Name and location of court/ entity that rendered judgment; e) Judgment amount; f) Date judgment was satisfied or vacated; and g) Summary of the judgment.

3) Judgments that are sealed or made confidential by order of the court shall not be accessible through an automated search of the database by persons who are not authorized to view such information.

4) Courts shall not maintain manual indexes or index cards for judgments entered after implementation of the automated system.

4.13.2 Courts Not Using an Automated Case Management or Indexing System Approved by the State Judicial Records Committee

1) Courts shall maintain an alphabetic index of all civil judgments with indexing by the party against whom the judgment was entered. The index shall contain:

4.14.2 Courts NotUsing an Automated Case Management System Approved by the State Judicial Records Committee

Judgment information for each defendant, including a summary of the judgment or sentencing order shall be entered on the case index card prepared pursuant to COR 4.09.

(Adopted eff. Jan. 1, 2004.)

4.15 ADMINISTRATIVE ORDERS FOR SUPPORT FILED BY THE FAMILY SUPPORT DIVISION – CHILD SUPPORT ENFORCEMENT

1) Administrative orders on existing Missouri judicial orders shall be assigned the same case number as the judicial order and filed in the judicial case file.

2) Other Administrative Paternity, Default and Consent Orders

a) Administrative paternity, default, and consent orders filed by the Family Support Division shall be given an identifying number when filed as required by COR 4.04.b) Information shall be entered into the judgment index described in COR 4.13.c) The original order shall be filed in case number sequence and maintained in a secure location from which it may be readily retrieved.

3) Administrative Modifications of Administrative Orders

a) Administrative modifications shall be assigned the same case number as the original order and filed with the original order.b) Modifications that are approved shall be entered into the judgment index described in COR 4.13.

(Adopted eff. Jan. 1, 2004.)

4.16 TRANSCRIPT JUDGMENTS/ EMPLOYMENT SECURITY ASSESSMENTS

1) The transcript of judgment provided for in Supreme Court Rule 74.13 and the employment security assessment provided for in section288.170 RSMo, shall be given a case number when filed.

2) Transcript judgments and employment security assessments shall be entered into the judgment index described in COR 4.13.

3) The original transcript or certificate shall be filed in case number sequence and stored in a secure location from which it may be readily retrieved.

(Adopted eff. Jan. 1, 2004.)

4.17 FOREIGN JUDGMENTS

Applications for registration of a foreign judgment under section 511.760 RSMo and pursuant to Supreme Court Rule 74.14, including orders for support and income withholding, shall be treated as civil cases. Judgment information shall be entered into the judgment index described in COR 4.13.

(Adopted eff. Jan. 1, 2004.)

4.18 MECHANICS’ AND MATERIALMEN’S LIENS

Liens filed pursuant to chapter 429 RSMo shall be given an identifying number when filed.

4.18.1 Courts Using an Automated Case Management System Approved by the State Judicial Records Committee

1) Courts shall have the capability to access lien information through an automated search of the database by:

a) Name of claimant;b) Party against whom claim was entered;c) Case number; ord) Date filed.

2) Results of the search shall include:

a) Name of claimant;b) Party against whom the claim was entered;c) Case number;d) Date filed;e) Description of property; andf) Amount claimed.

3) No manual abstract of the lien shall be prepared.

4.18.2 Courts Not Using an Automated Case Management System Approved by the State Judicial Records Committee

1) An abstract, containing the same information as set forth in COR 4.18.1 for automated courts, shall be prepared for each lien filed.

2) Abstracts shall be maintained in alphabetic order by name of the party against whom the claim was entered.

4.19.2 Courts Not Using an Automated Case Management System Approved by the State Judicial Records Committee

1) An abstract, containing the same information as set forth in COR 4.19.1 for automated courts, shall be prepared for each execution issued.

2) Abstracts shall be maintained in alphabetic order by plaintiff and defendant name.

(Adopted eff. Jan. 1, 2004.)

4.20 MISSOURI AUTOMATED CHILD SUPPORT SYSTEM (MACSS)

When information on past support payments and disbursements has been certified by the circuit clerk to the Family Support Payment Center, the information entered into MACSS becomes the official record.

(Adopted eff. Jan. 1, 2004.)

4.21 JURY RECORDS

Courts shall maintain the following records pertaining to grand and petit juries:

1) Master jury list;

2) Questionnaires submitted by prospective jurors:

a) Information provided on the questionnaires shall be considered confidential and shall be used only for the purposes of jury selection.b) Pursuant to Supreme Court Rule 27.09 questionnaires for individuals comprising criminal jury panels shall be accessible only to the court and parties. Such questionnaires maintained by the court shall be sealed at the conclusion of the trial.

3) Individuals comprising each jury panel;

4) Applications for postponement of or for disqualification or excuse from service;

5) Juror service dates; and

6) True bills and no true bills issued by grand juries:

a) True bills returned by a grand jury shall remain confidential until the defendant is arrested.

b) "No true bills" shall be placed in a sealed envelope, along with all documents related to the case, and filed in a confidential area.

(Adopted eff. Jan. 1, 2004.)

4.22 FILE MAINTENANCE/ SECURITY

1) File Storage

a) Court files shall be stored in secure areas that are free from excessive heat, moisture, and threats of destruction from fire, insects, rodents, birds and other animals. b) Access to case files by other than court personnel shall be restricted.c) Courts shall designate separate storage areas for:

(1) Active cases;(2) Disposed cases;(3) Confidential cases; and(4) Original wills with any codicils, proofs and certificates of probate or rejection. Copies of these documents shall be maintained in the case file until the estate is closed. When closed, the originals may be placed in the case file.

2) File Removal

a) Except by local court rule or judicial order, no file shall be removed from the clerk’s office or other area where files are maintained or kept by anyone other than court personnel. b) Files shall not be removed from the courthouse without a judge’s approval. Approval is not required to:

(1) transfer files to off-site storage; or(2) transfer files to another court facility, e.g., an annex within the city or county.

3) File Check-Out

a) A system whereby the file in any case may be checked out by authorized personnel shall be maintained. The following information shall be recorded before the file is released:

b) Courts using an automated case management system approved for statewide use by the State Judicial Records Committee may use the automated file-tracking feature of the system.

Other courts may use a library or out-card or automated system for their file-checkout.

(Adopted eff. Jan. 1, 2004.)

4.23 LOCAL RULES FOR FILE MAINTENANCE/ SECURITY

Nothing contained herein shall preclude a court from requiring additional measures for the maintenance and security of court records, as long as such rules do not conflict with COR 4.

(Adopted eff. Jan. 1, 2004.)

4.24 CONFIDENTIAL RECORDS

1) Confidential records shall be maintained so as to be inaccessible to the general public. Such records may be sealed. The following, including court docket sheets and indexes for these matters, are confidential:

a) Case records that are closed to the public by chapter 610 RSMo;b) Mental health records under section 630.140 RSMo;c) Records pertaining to sexually violent predators, required to be sealed under section 632.513, RSMo;d) Juvenile court records under section 211.321 RSMo, and Supreme Court Rules 122.02 and 122.04;e) Adoption records under section 453.120 RSMo;f) All papers and records, other than the interlocutory or final judgment, in paternity cases under section 210.846 RSMo;g) Records of any grand jury proceedings under chapter 540 RSMo;h) True bills issued by a grand jury before the defendant is arrested under section 545.080 RSMo;i) No true bills, which are to be sealed; j) Criminal psychiatric evaluations under section 552.020.13 RSMo;k) Pre-sentence investigations and probation and parole reports under Supreme Court Rule 29.07;l) Drug court records under section 478.005 RSMo;m) Motion, court order, and test results for sexually transmitted diseases, which are required to be sealed within the court file under section 566.135 RSMo;n) Juror questionnaires. Questionnaires for individuals comprising criminal jury panels shall be sealed at the conclusion of the trial under Supreme Court Rule 27.09;o) Information that identifies a person as an applicant or recipient of IV-D services under section 454.440 and section 208.120 RSMo;p) Search warrant applications until the warrant is returned or expires; q) Filing information sheets, referenced in COR 4.07; andr) Any other record sealed or closed by statute, Supreme Court Rule or order of a court of record for good cause shown.

2) The court shall consider all requests to inspect confidential records and may approve such requests if authorized by statute or Supreme Court Rule. A docket entry of the decision of the court shall be made.

(Adopted eff. Jan. 1, 2004.)

4.25 SEALED RECORDS

1) Records shall be stored in a sealed envelope within the case file or in a sealed envelope or other container apart from the case file. Sealed records stored within the file shall be removed prior to inspection of the case file by non-court personnel.

2) The case number, case description and date the record was sealed shall be noted on the envelope or container.

3) A court order shall be required to open records that have been sealed.

(Adopted eff. Jan. 1, 2004.)

4.26 EXPUNGED RECORDS

Records ordered to be expunged shall be destroyed, or if destruction of the record is not feasible, such record entries shall be blacked out.

(Adopted eff. Jan. 1, 2004.)

4.27 RECONSTRUCTION OF CASE FILE

If a case file is lost or destroyed, it may be reconstructed under the supervision of the court.

(Adopted eff. Jan. 1, 2004.)

4.28 REPORTING TO THE OFFICE OF STATE COURTS ADMINISTRATOR

Courts shall report case information to the Office of State Courts Administrator. Reporting requirements shall be approved by the State Judicial Records Committee.

4.28.1 Courts Using an Automated Case Management System Approved for Statewide Use by the State Judicial Records Committee

1) Information that is required to be entered into an automated case management system approved for statewide use by the State Judicial Records Committee shall yield data that meets reporting requirements of the Committee.

2) Any information that is not entered or otherwise available through the automated system shall be reported at least monthly on forms or in a format approved by the Office of State Courts Administrator.

3) Courts shall comply on a timely basis with requests from the Office of State Courts Administrator to correct reporting errors or to supply information omitted from a previous report.

4.28.2 Courts Using an Automated Case Management System Approved for Local Use by the State Judicial Records Committee

1) Required information that is accessible through the automated system shall be transmitted in a format approved by the Office of State Courts Administrator.

2) Any information that is not entered or otherwise available through the automated system shall be reported at least monthly on forms or in a format approved by the Office of State Courts Administrator.

3) Courts shall comply on a timely basis with requests from the Office of State Courts Administrator to correct reporting errors or to supply information omitted from a previous report.

4.28.3 Courts Not Using an Automated Case Management Systems Approved by the State Judicial Records Committee

1) Courts shall report on forms supplied by or in a format approved by the Office of State Courts Administrator. Information shall be submitted at least monthly and shall reflect all activity on required data elements that has occurred since the last report.

2) Courts shall comply on a timely basis with requests from the Office of State Courts Administrator to correct reporting errors or to supply information omitted from a previous report.

(Adopted eff. Jan. 1, 2004.)

4.29 MUNICIPAL DIVISION REPORTING TO THE MUNICIPALITY

On or before the 15th of each month, the Municipal Division shall submit to the municipality a copy of the monthly case load summary report for the preceding month required by Court Operating Rule 4.28.

(Adopted Dec. 20, 2006, eff. Jan. 1, 2007)

4.30 - 4.49 [RESERVED]

UNIFORM ACCOUNTING SYSTEM - COURT REGISTRY FUNDS

4.50 COR 4 GENERAL PROVISIONS SHALL APPLY

The general provisions of Court Operating Rule 4 shall apply to the Uniform Accounting System – Court Registry Funds section of this COR. Exceptions or additional requirements are set out below.

(Adopted eff. Jan. 1, 2004.)

4.51 UNIFORM ACCOUNTING SYSTEM MANDATORY

There shall be a uniform accounting system in the Circuit Court that shall be mandatory for all court registry fund payment and disbursement records. The uniform accounting system shall be maintained in accordance with the Recommended Accounting Guidelines and Recommended Accounting Review Procedures for Appointing Authorities promulgated by the Office of State Courts Administrator.

4.53.2 Courts using the statewide automation system or other approved local automated systems are to only issue manual receipts when the automated system is unavailable or as authorized by order of the presiding judge. Upon entering any such order, the presiding judge shall provide a copy of same to the office of state courts administrator. Quarterly updates on the use of such orders shall be provided by the office of state courts administrator to the state judicial records committee.

A cash control record shall be established and maintained. The cash control record shall be a combined list of the amounts received and checks issued or shall be two separate lists, one of amounts received and one of checks issued. The cash control record shall include:

A case fee record shall be established and maintained for each case, except a case fee record is not required when fines and judgments due the court are imposed and court costs are assessed, collected, and disbursed in one transaction on the case control record. The case fee record shall include:

1) Case number;2) Plaintiff’s name in civil cases;3) Defendant’s name;4) Party against whom costs, fines and judgments due the court were assessed;5) Date, amount, and description of each cost accrued and each fine and judgment imposed that is to be paid through the court;6) Total of the costs, fines, and judgments to be paid through the court; 7) Amounts collected, dates of collection, and receipt numbers;8) For disbursements made by end-of-month checks:

a) Date disbursed or recorded as payable; andb) Total disbursed at month end.

A system to identify all cases with amounts on deposit with the court shall be established and maintained. A record of the open items balances shall be prepared monthly, and the balances on the record shall be identified by case number at least every December 31 or at the end of the fiscal year.

(Adopted eff. Jan. 1, 2004.)

4.57 UNCOLLECTED COSTS, FINES, AND JUDGMENTS

A system to identify all cases with amounts due the court shall be established and maintained.

(Adopted eff. Jan. 1, 2004.)

4.58 INVESTMENT RECORDS

An investment record shall be established and maintained for each investment account. The investment record shall include:

1) Name and address of financial institution at which investment was made;2) Account name and number;3) Date account was opened;4) Case number (if investment applies to one case);5) Type of investment, interest rate, and maturity date;6) Dates and amounts of deposits and withdrawals of principal;7) Dates and amounts of interest earned and withdrawn;8) Principal balance, interest balance, and total account balance; and9) Date account closed.

(Adopted eff. Jan. 1, 2004.)

4.59 MONTHLY RECONCILIATION RECORDS

All bank balances and open items records shall be reconciled at least monthly. A record of the reconciliation shall be maintained in the office of the clerk of the court.